SEC

SEC-charges-pair-of-brokers

SEC charges brokerage firm

15/04/2014(0)
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More
TAX-REFORM-US

Exclusive: SEC eyes test that may lead to shift away from ‘dark pools’

11/04/2014(0)
U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as “dark pools” that critics ... Read More
goldman_sachs_logo_door

SEC Goldman Lawyer Says Agency Too Timid on Wall Street Misdeeds

09/04/2014(0)
A trial attorney from the Securities and Exchange Commission said his bosses were too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 credit ... Read More
SEC Probes Threat From Cyber

SEC Probes Threat From Cyber Attacks Against Wall Street

27/03/2014(0)
The U.S. Securities and Exchange Commission is examining the exposure of stock exchanges, brokerages and other Wall Street firms to cyber-attacks that have been called a threat to financial ... Read More
law_firms

SEC Charges Stockbroker and Law Firm Managing Clerk

20/03/2014(0)
The Securities and Exchange Commission charged a stockbroker and a managing clerk at a law firm with insider trading around more than a dozen mergers or other corporate transactions ... Read More
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